LPL Financial LLC

There are Recent Customer Complaints with Broker Ryan Osborn in Firm LPL Financial LLC

December 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Osborn (Osborn), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osborn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $31,380.00 on January 28, 2022.

Customer alleges requested purchase of note did not occur.

Broker Shawn Nelson in LPL Financial LLC Firm Has Customer Complaint

December 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Nelson (Nelson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $24,049.00 on January 26, 2022.

Customer alleged that instruction to liquidate account was not immediately followed, resulting in value of account after full liquidation being lower than it should have been if it had been immediately liquidated. Customer requested reimbursement for the difference in value. Activity period – 12/17/21 to 1/26/22

Broker Michael Chandler in LPL Financial LLC Firm Has Customer Complaint

December 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Chandler (Chandler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chandler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on January 27, 2022.

Poor recommendation and over-concentration of an illiquid investment without conducting reasonable due diligence

There are Recent Customer Complaints with Broker Curtis Krueger in Firm LPL Financial LLC

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Krueger (Krueger), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krueger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 08, 2022.

Customer alleged unsuitable recommendations.

Broker Hong Mcgill in LPL Financial LLC Firm Has Customer Complaint

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hong Mcgill (Mcgill), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcgill recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,117.78 on March 23, 2022.

Customer complaint regarding poor recommendation of short term bond product and losses occurred.

There are Recent Customer Complaints with Broker Wayne Trahms in Firm LPL Financial LLC

December 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Trahms (Trahms), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trahms recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,327.00 on February 01, 2022.

On 2/1/2022 client asked that Gazprom stock be sold. The sale was not completed. On 2/22/2022 the client learned that the stock had not been sold and the price of Gazprom dropped. The representative wanted to see if the price of Gazprom came back. On 2/28/2022 the price of Gazprom dropped again. The client was very upset. Shortly after that date, Gazprom stock was removed from client’s account by federal government due to Russian invasion of Ukraine.

There are Recent Customer Complaints with Broker Frank Stuart in Firm LPL Financial LLC

December 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Stuart (Stuart), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stuart recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 28, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker William Tunink in LPL Financial LLC Firm Has Customer Complaint

December 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Tunink recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,000.00 on October 30, 2025.

Advisor borrowed funds from customer for investment opportunity away from the Firm.

Broker Darryl Ferguson in LPL Financial LLC Firm Has Customer Complaint

December 14, 2025 | by Staff Attorney

Previously financial advisor Darryl Ferguson (Ferguson), previously employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on December 22, 2021.

Claimants allege registered representative recommended unsuitable non-traded REIT investments.

There are Recent Customer Complaints with Broker Todd Sivak in Firm LPL Financial LLC

December 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Sivak (Sivak), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sivak recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 22, 2021.

The complainant alleges that beginning on or around March 2019, their registered representative recommended that they invest all their Roth IRA into one mutual fund, which resulted in a 55% loss. The complainant further states their registered representative knew that they did not want to take any unnecessary risks with their investing.